Compliance Administrator

Compliance Administrator

Client:

• Abacus Group are pleased to be recruiting for a Compliance Administrator on behalf of an expanding global firm who specialise within the financial, energy and commodities markets. Our client proudly boasts month on month financial growth and looks to continue expanding their Belfast operation.

Salary/ Benefits:

• Generous basic depending on experience, Bonus, Gym Subsidy, Private Medical, Income Protection

Role:

Assisting with the processes undertaken by the Employee Compliance function including, but not limited to:

• Processing of FCA Senior Management Function documentation.,
• Effectively follow steps designed for end-to-end processing of brokers Certification under SMCR
• Review outcome of attestations submitted by brokers in Redland and assess if any follow up or escalation is required
• Providing access to professional qualifications and training through learning providers.
• Assigning and chasing of Compliance training across EMEA and maintenance of those records
• Reconciliation of PA Dealing requests and associated contract notes
• Reconciliation and processing of regulatory/training invoices
• Collate and produce monthly EMEA Compliance Management Information  
• Administration of Exchange Registrations (e.g. Eurex, ICE, CME)
• Compliance generic mailbox management. Redirecting queries to appropriate Compliance colleagues.
• Seeking confirmation that certain tasks have been conducted as per Compliance Control Framework.
• Assisting with ServiceNow queries from the business in relation to Conflicts of Interest and PA Dealing approvals.
• Assisting with ad hoc work, investigations and project issues as required.
• Ensuring that compliance documentation and procedures in respect of individual responsibilities are regularly reviewed and updated.
• Remaining informed of changes to the regulatory environment.

Requirements:

• Previous experience gained working in a financial services firm undertaking Compliance Administration essential.
• Knowledge of the FCA’s Senior Managers and Certification Regime (SMCR) preferred.
• High attention to detail.
• Skilled in Microsoft applications software (Word, Excel, PowerPoint, Outlook etc.).
• Excellent communication and interpersonal skills.
• Flexibility to take on other team roles as the workload demands
• Ability to work under pressure, responding to urgent queries accurately and effectively.

Primary Contact:

• Nicky Strutt

Next Steps:
Please submit your application or speak to a specialist consultant from the Abacus team on 0044 (0) 28 9031 3157 for a confidential discussion. We aim to respond to all inquiries within 4 business hours.
The team at Abacus manages a range of permanent and contract positions throughout Northern Ireland, the UK and the Republic of Ireland. If you are experienced and/or professionally qualified we can support your job search.
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